NORTHWESTERN UNIVERSITY

The Galant in the Hammerklavier

A RESEARCH DOCUMENT

SUBMITTED TO THE BIENEN SCHOOL OF MUSIC IN PARTIAL FULFILLMENT OF THE REQUIREMENTS

for the degree

DOCTOR OF MUSIC

Program of Piano Performance

By

Sergiy Sergiyovych Komirenko

EVANSTON, ILLINOIS

Month 2014

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© Copyright by Sergiy Sergiyovych Komirenko 2014 All Rights Reserved 3

ABSTRACT

The Galant in the Hammerklavier

Sergiy Sergiyovych Komirenko

Beethoven’s late compositional style is known for bending conventions he learned as a young man. Many discussions of his late style concentrate on adherence to and deviations from the conventions of functional harmony, fugal techniques, and sonata form. This document sheds light on an additional, previously unexamined aspect of Beethoven’s compositional process: his use of Galant schemata. These schematic patterns were catalogued and described by Robert

Gjerdingen in his book Music in the Galant Style. For earlier 18th century composers, schematic constructs were a necessary time-saving tool which allowed composers to keep up with enormous demand on their output. While Beethoven faced different market conditions from his predecessors, and while his music embodied early iterations of nascent musical Romanticism,

Beethoven nonetheless inherited the language of the Galant style and its building blocks. This study presents a detailed analysis of the way Beethoven deployed and subverted these schematic patterns in the Hammerklavier piano Sonata. The analysis leads to the conclusion that these schemata, far from chaining the composer’s creative impulses, were indeed a handy tool which he could employ in accordance with his contextual needs. Moreover, by analyzing how

Beethoven integrates Galant schemata throughout the Hammerklavier, this document shows that the presence of seemingly outdated patterns in a self-consciously esoteric and romantically sublime piano Sonata underscores a synergy, not an opposition, between the old Galant and the new Romantic idioms in Beethoven’s late compositional style.

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Table of Contents The Galant in the Hammerklavier ...... 7 Historical Background ...... 7 Format ...... 11 Purpose and Contribution ...... 12 Analysis ...... 14 Allegro ...... 14 Scherzo, Assai vivace ...... 52 Adagio sostenuto. Appassionato e con molto sentimento...... 57 Largo – Allegro – Allegro risoluto. Fuga a tre voci con alcune licenze ...... 66 Epilogue and Conclusion ...... 89 Bibliography ...... 93

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List of Examples

Example 1, Beethoven, Hammerklavier, opening of first movement ______15 Example 2, Beethoven, Symphony No. 5, opening of first movement ______15 Example 3, N. Piccinni, "Dov'e Cecchina" from La buona figliuola, mm. 9-12 ______16 Example 4, Do-Re-Mi Prototype ______16 Example 5, The "Do-Re-Mi" Schema in the opening of the Hammerklavier ______17 Example 6, Meyer Prototype ______18 Example 7, Pastorella Prototype ______19 Example 8, Hammerklavier, I, mm. 4-6 ______19 Example 9, Monte Romanesca Prototype ______20 Example 10, Hammerklavier, I, mm. 4-6 ______20 Example 11, Hammerklavier, I, mm. 230-232 ______21 Example 12, Fonte Prototype ______22 Example 13, Hammerklavier, I, mm. 6-8 ______22 Example 14, Hammerklavier, I, mm. 6-8, hypothetically rewritten ______23 Example 15, Hammerklavier, I, mm. 8-17 ______24 Example 16, Hammerklavier, I, mm. 17-26 ______25 Example 17, Hypothetical Monte ______26 Example 18, Hammerklavier, I, mm. 31-34 ______26 Example 19, Hammerklavier, I, mm. 38-45 ______27 Example 20, Hammerklavier, I, m. 74 ______28 Example 21, Hammerklavier, I, m. 306 ______29 Example 22, Hammerklavier, I, mm. 85-91 ______29 Example 23, Fenaroli Prototype ______31 Example 24, Hammerklavier, I, mm. 100-109 ______31 Example 25, Hammerklavier, I, mm. 201-204 ______32 Example 26, Hammerklavier, I, mm. 332-341 ______33 Example 27, Hammerklavier, I, mm. 362-369 ______33 Example 28, Hammerklavier, I, mm. 120-124, first ending ______35 Example 29, Hammerklavier, I, mm. 120-123, second ending______35 Example 30, Folia Ground Bass ______36 Example 31, Hammerklavier, I, mm. 124-131 ______36 Example 32, Hammerklavier, I, mm. 176-190 ______37 Example 33, Monte Principale Prototype ______38 Example 34, Hammerklavier, I, mm. 137-141 ______38 Example 35, Hammerklavier, I, mm. 147-152 ______38 Example 36, Hammerklavier, I, mm. 155-176 ______40 Example 37, Hammerklavier, I, mm. 197-201 ______41 Example 38, Hammerklavier, I, mm. 232-234 ______42 Example 39, Hammerklavier, I, mm. 239-241 ______42 Example 40, Hammerklavier, I, mm. 249-257 ______45 Example 41, Hammerklavier, I, mm. 263-266 ______45 Example 42, Hammerklavier, I, mm. 268-277 ______46 6

Example 43, Hammerklavier, I, mm. 350-358 ______47 Example 44, Hammerklavier, I, mm. 377--382 ______48 Example 45, Hammerklavier, I, mm. 212-220 ______49 Example 46, Hammerklavier, I, mm. 220-227 ______50 Example 47, Beethoven, Symphony No. 4, I, mm. 275-307, Piano reduction by Franz Liszt ______51 Example 48, Beethoven, Symphony No. 4, I, mm. 331-335, Piano reduction by F. Liszt ______51 Example 49, Stepwise Bass Romanesca Prototype ______53 Example 50, Hammerklavier, II, mm. 1-3 ______53 Example 51, Hammerklavier, II, mm. 14-18 ______54 Example 52, Hypothetical Fonte ______55 Example 53, Hammerklavier, II, mm. 26-30 ______56 Example 54, Hammerklavier, II, m. 112 (partial) ______57 Example 55, Hammerklavier, III, mm. 36-38 ______58 Example 56, Hammerklavier, III, mm. 39-40 ______59 Example 57, Prinner Prototype ______59 Example 58, Hammerklavier, III, mm. 44-45 ______60 Example 59, Hammerklavier, III, mm. 53-56 ______61 Example 60, Hammerklavier, III, mm. 85-87 ______62 Example 61, Hammerklavier, III, mm. 123-125 ______63 Example 62, Quiescenza Prototype ______64 Example 63, Hammerklavier, III, mm. 173-178 ______65 Example 64, Hammerklavier, IV, last three quarter notes of m. 1 ______68 Example 65, Hammerklavier, IV, m. 10 ______69 Example 66, Hammerklavier, IV, mm. 11-15 ______69 Example 67, Hammerklavier, IV, fugue subject ______72 Example 68, Hammerklavier, IV, mm. 35-38 ______72 Example 69, Johann Sebastian Bach, The Well-Tempered Clavier, Book II, Fuga VII, Subject ______72 Example 70, J.S. Bach, The Well-Tempered Clavier, Book II, Fuga VII, mm. 26-28 ______73 Example 71, Hammerklavier, IV, mm. 46-47 ______75 Example 72, Hammerklavier, IV, mm. 48-52 ______76 Example 73, "Monte Reduction" of mm. 69-79 of the Hammerklavier fugue ______77 Example 74, Hammerklavier, IV, mm. 69-79 ______78 Example 75, Hammerklavier, IV, mm. 80-82 ______79 Example 76, Hammerklavier, IV, mm. 200-207 ______80 Example 77, Hammerklavier, IV, mm. 224-227 ______81 Example 78, Hammerklavier, IV, mm. 239-242 ______82 Example 79, Hammerklavier, IV, mm. 287-292 ______83 Example 80, Hammerklavier, IV, mm. 308-327 ______85 Example 81, Hammerklavier, IV, mm. 331-332 ______86 Example 82, Hammerklavier, IV, mm. 338-343 ______87 Example 83, Hammerklavier, IV, ending______88

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The Galant in the Hammerklavier

Historical Background Works of Beethoven’s “late period” often carry mythical associations concomitant with his ubiquitous image as an alienated and deaf, inspired mad genius. Expectedly, his compositional process from this period has been the subject of meticulous research and vigorous debate. Currently, reconciling the apparent conflict between “Romantic” and “Classical” elements in the composer’s late output seems to be one of the most pressing issues. In the present study, however, the very premise of this opposition is questioned and rejected in favor of a more synergistic outlook. The main purpose of this study is to elucidate (and, perhaps slightly de- mystify) one aspect of Beethoven’s compositional process by looking through a somewhat unexpected prism. As the title suggests, I will be examining one of Beethoven’s most monumental compositions, the Hammerklavier1 Piano Sonata, through a “Galant”2 lens. A reasonable skeptic may inquire: “What exactly is ‘Galant’ about 45 minutes of some of the heaviest, most romantically-wrought and sublimely intense music Beethoven has ever composed?” The answer is not a categorical one. Beethoven’s “late” style was in fact a synthesis, brought about by several conditions of his environment.

Firstly, an important institutional change was taking place during Beethoven’s lifetime.

Generally, scholars refer to this development as the “social emancipation” of artists. It appears that musicians no longer had to rely on aristocratic patronage. Perhaps a more accurate way of

1 Piano Sonata No. 29 in B♭ Major, Op. 106, also known as the Große Sonate für das Hammerklavier. 2 The term “Galant”, which will be further explained shortly, is not to be confused with the more common word “gallant”, though the meanings are not entirely unrelated. 8 describing the situation, at least at the outset, is that musicians no longer got to rely on it. To borrow Richard Taruskin’s aptly-used terminology, this was not “social emancipation” of musicians – rather, it was “social abandonment” (Taruskin, 2010c, p. xxiii). In any case, the aristocratic patronage system of Haydn’s generation had effectively collapsed by the late 18th century. Some of the esotericism of Beethoven’s late style can certainly be attributed to the desire of the elites to continue to distinguish themselves from the newly empowered bourgeoisie.

However, due to economic constraints, now their display of conspicuous consumption had to be done with an astute and advanced taste – a taste, say, for an intricate late Beethoven string quartet – rather than with ostentatiously lavish Hauskapellen3 (DeNora, 1991). A more comprehensive and detailed look at the reasons for this change in patronage is beyond the scope of this study, but acknowledging the dialectical relationship between the new patronage system and Beethoven’s compositional style is an essential step towards understanding Beethoven’s later output.

Secondly, it is important to remember where (and when) “late” Beethoven came from.

“Early” Beethoven sounds more like Mozart, or – to put it less sacrilegiously – “early”

Beethoven sounds more in concurrence with the expectations of the “Classical” style than “late”

Beethoven does. Rivers of ink have been spilled over the musical features of the “Classical” style as opposed to the “Baroque” or “Romantic” styles and, for that matter, the appropriateness of these labels. Skirting these contentious issues for the moment, suffice it to say that during

Mozart’s lifetime, what is now called the “Classical” style was largely referred to as “Galant”

(after all, Mozart could have no premonition of just how “Classical” he one day would become).

3 House ensembles at aristocratic courts. 9

So what does it mean to be “Galant”? According to the impeccably venerable Grove

Music Online, “Galant” is “A term widely used during the 18th century to denote music with lightly accompanied, periodic melodies, and the appropriate manner of performing the same”

(Heartz & Brown). In his Oxford History of Western Music, Richard Taruskin describes what

“…the French called the style galant, which stemmed… from the old French verb galer, which meant ‘to amuse’ in a tasteful, courtly sort of way, with refined wit, elegant manners, and easy grace” (Taruskin, 2010c, p. 263). These descriptions suggest that even though not all of 18th century music was in a strict sense “Galant”, a great deal of it in fact was.

How does one tell the Galant from the non-Galant? Just like Galant courtly behavior is embodied by certain agreed-upon conventions, Galant musical behavior is displayed by patterned, easily discernible, witty, elegant schemata. These schemata were catalogued and described in detail by Robert Gjerdingen in his Music in the Galant Style, where he defined the meaning of “Galant” as broadly referring to “… a collection of traits, attitudes, and manners associated with the cultured nobility” (Gjerdingen, 2007, p. 5). Starting from his “middle” period, Beethoven’s music can hardly be described as Galant. Nonetheless, he was brought up in an environment where such music was still the stuff of daily life, and he himself wrote plenty of it in his “early” period. Though at first glance an unlikely presence, Galant patterns can indeed be found in abundance in late Beethoven. Analyzing the way in which Beethoven uses and disguises these patterns in the Hammerklavier sheds considerable light on the compositional process of his later years.

Reconciling the seeming contradiction between the light Galant idiom and the monumental intensity of late Beethoven can at first appear like a daunting task, especially if the 10 two concepts are needlessly pitted in direct opposition. How can this charming idiom be used as a means to produce some of Beethoven’s arguably most complex Romantic music? Furthermore, what would be the advantage of such a strategy?

As far as the rationale for incorporating Galant schemata is concerned, late Beethoven was, well… late. He was aging. When referring to the late styles of composers (Beethoven among them), the prominent American music theorist Leonard Meyer pointed out that “…old age is accompanied by physiological slowing down and a concomitant need to conserve energy – to reduce the number of deliberate compositional choices made” (Meyer, 1996, p. 5 footnote 2).

It comes as no surprise, then, that Beethoven would be obliged to fall back on time-tested, time- saving Galant patterns during his later years – a maneuver that would ultimately streamline his compositional decision-making process. However, in seeming (but only seeming) paradox, this was not necessarily a limiting factor, at least when it came to the compositional result. Falling back on old methods did not mean that Beethoven suddenly “unlearned” his “heroic” style, nor did it mean that he was not willing to supply newly sophisticated music for his newly sophisticated patrons4. Instead of being impediments to inventiveness, the patterns actually served as an additional compositional tool that Beethoven could exploit along with the rest of the stylistic toolkit he had developed up to that point. The ingenious creativity with which he deployed these generic schematic patterns is ample proof of that.

4 In his Style and Music, Leonard Meyer rightly points out that during the advent of Romanticism, the general sophistication level of the audience for music in fact went down (pp. 208 ff.), as most of the new audience now comprised the up and coming middle class as opposed to the old “cultured nobility”. However, as the dedication of the Hammerklavier (as well as other late Beethoven works) should make clear, Beethoven’s primary patrons were still mostly the old guard aristocrats. 11

Moreover, the Galant patterns had a role to play in audience perception. The presence of these familiar patterns in a self-consciously esoteric environment could be comforting indeed to an audience initially confronted with this challenging music5. Lastly, if Beethoven’s compositional goal was to please and distinguish an aristocratic audience at a time when their social standing was significantly undermined (and even challenged) by the new bourgeoisie, then offering them a nostalgic taste of old courtly sophistication synthesized with new Romantic sublime intensity seems to be a logical means towards his end.

Format The scope of this analysis of the Hammerklavier is narrow and focused. First and foremost, I concentrate on the presence and implementation of the aforementioned Galant patterns, and their integration into the larger context of the piece, with an emphasis on their function. I consider the conformance or deviation from their functional norms as well as any alteration from their usual appearance. Each movement of the piece is examined in chronological order, which provides a neat, built-in organizational framework. Generic prototypes of the

Galant patterns are supplied for direct comparison with those deployed in the piece. Only those patterns that are encountered in the Hammerklavier are discussed, leaving the curious reader to complete his or her acquaintance with the rest of the patterns directly from Gjerdingen’s Music in the Galant Style.

The terminology of sonata form theory is used occasionally, for easy reference. Roman numeral analysis is largely contained to cadential progressions, where it is most useful. I fully

5 It should not be forgotten that even to early 21st century audiences, late Beethoven can sound “weird” or “strange”. This is despite the close to 200 years’ worth of stylistic “conditioning” that includes the music of Schoenberg and Stravinsky, et al. 12 acknowledge the perennial dangers of forcing the results to suit the hypothesis. Therefore, though the situations encountered in the present document are not always clear cut (black and white analysis seldom makes interesting reading), utmost precautions are taken to avoid sophistry and excessive stretches of the imagination.

Purpose and Contribution “Music theory” and “musicology” are often assumed to be separate, highly territorial, and even mutually exclusive fields, held far aloof from the even more distant, élite, mystical area of

“performance”. Yet, while intellectual “division of labor”, so to speak, has its uses, there is always a fair amount of overlap and interrelation. Certainly, theory and historiography are distinct fields, which differ in their scope, emphasis, and – often times – methodology. Despite being written by an aspiring performer, and while having an analytical (theoretical) focus, this study aims to take conciliatory steps in all directions by drawing on relevant aspects of all three of the aforementioned fields. How meaningful is “music theory” which is cut off from the historical, cultural, and philosophical underpinnings behind a piece of music? And likewise, there is no “musicology” without some understanding of the structural and technical ways in which the music is constructed. Though ignorance of “music theory” and “musicology” by no means precludes performance (occasionally, even good performance), such ignorance certainly decreases the odds of a meaningful and eloquent interpretation. Just as it is easy to notice a speaker who has little knowledge about his or her subject, it is easy to spot a performer who has no awareness of how or in what context the music was composed. This knowledge does not have to have direct musical repercussions in order to be influential: the mere awareness of the cultural, 13 historical, and theoretical context of a work adds a richness that can be easily perceived, even if not always easily described, by the alert listener6.

To put it in terms of the present study, knowing where a Fonte or a Monte7 is does not guarantee a great performance of the Hammerklavier, but it aids (theoretical) understanding of the piece by providing a glimpse into its cultural environment, since the patterns are indeed signals that Beethoven’s audience would have noticed. On the other hand, a member of our contemporary audience who is familiar with the Galanteries found in the Hammerklavier can potentially enhance his or her enjoyment of the piece, simply by appreciating the clever ways in which Beethoven subverts or upholds norms not only of “Sonata Form” or “Fugue”, but also of

Galant patterns.

This study could serve as a springboard for further studies with a similar framework.

Some of these patterns can be found in Rossini, Chopin, Schumann, Brahms, Chaikovsky,

Sibelius, Medtner, and many others8. Questions such as, “Why did some of these patterns survive while others did not?” or “What do the composers who use these Galant patterns (knowingly or unknowingly) during the 19th and 20th centuries have in common?” are further inquiries that can be explored. This study could also be useful to someone who is working towards a

6 Taken to the extreme, such a position can inadvertently result in an obsession with “period authenticity” and “historical appropriateness”. There is, however, a significant difference between that and what is advocated here. Aiming to know as much as possible about a piece of music in order to increase understanding and add meaningful performance options is one thing. Aiming to re-create the circumstances, instrumentation, tuning, performance manner and “composer’s intent” is quite another. The results of such efforts, while often compelling in their own right, inevitably lead to a decrease of options available to the conscientious performer. Safety first, as they say. After all, who wants to expose themselves to the charge of “inauthenticity”? See Taruskin (1995, pp. 90-154). 7 These are two of the many Galant schemata which will be discussed in the paper. 8 The Fonte seems to be a particular favorite, used by all of the listed composers. See, for instance, the opening of the third movement of Brahms’ Second Piano Concerto (mm 7-8), or the “Dievitsy Krasavitsy” chorus from Chaikovsky’s Eugene Oniegin (Act I, sc. 3, mm 79-82). 14 comprehensive analysis of the Hammerklavier, by adding a different perspective to the more conventional structural, formal, motivic and harmonic analyses. Alternatively, one may wish to apply the very same approach used in this study, but to a broader repertory and on a larger scale.

While their role is substantial and significant, the Galant schemata are not found uniformly throughout the Hammerklavier. This means that some sections of the piece are glossed over or omitted from consideration. To compensate for this constraint, the passages that are under scrutiny will be analyzed with assiduous attention to detail.

Analysis

Allegro The Hammerklavier opens with a bombastic fanfare. This is a sign of things to come. As

Sterling Lambert points out, “[The Hammerklavier’s] narrative struggle of leading to triumphant conclusion has caused a number of authors to recognize this work as a late partaker of a heroic style more commonly associated with Beethoven’s middle-period works” (Lambert, 2008, p.

444). The heroic Kampf und Sieg trajectory also plays itself out on the smaller scale of the third movement, which begins in F♯ minor and ends in F♯ major. As to the opening of the first movement of Op. 106, Lambert goes on to perceptively acknowledge its structural affinity to

“that locus classicus of the heroic style, the Fifth Symphony” (Lambert, 2008, p. 444). As shown in Example 1 and Example 2, there is a palpable structural similarity between the two openings. 15

Example 1, Beethoven, Hammerklavier, opening of first movement

Example 2, Beethoven, Symphony No. 5, opening of first movement

In Example 1 and Example 2, both opening gambits contain two separate but motivically similar iterations. The difference is that the Hammerklavier opening is an ascending one. As seen in Example 1, the first landing point is B♭ (m. 2, “Do” in the key of B♭ major). The second landing point is D (“Mi” in the same context). The move from “Do” to “Mi” as an opening gambit was not new in Beethoven’s time; Galant composers used this pattern frequently. Such maneuvers customarily required an intermediate stage, namely “Re”. Gjerdingen appropriately names such Galant openings the Do-Re-Mi (Gjerdingen, 2007, pp. 77-88). Because both utterances in Example 1 have “feminine” endings – that is, they end on a weak beat – the metric emphasis of the “Do” and the “Mi” is somewhat diminished, and it could be argued that the prominent pitches are actually “Mi” in the first iteration and “Sol” in the second. While the importance of particular pitches in this passage is debatable, this gambit clearly outlines a triadic 16 ascent. Much like the Do-Re-Mi schema, the opening triadic ascent was not Beethoven’s invention. Nicollo Piccinni’s aria “Dov’e Cecchina” from his La buona figliuola (Example 3) shows just one instance of Galant usage of such an opening figuration (also in B♭ major) 9. This piece dates from around 1760.

Example 3, N. Piccinni, "Dov'e Cecchina" from La buona figliuola, mm. 9-12 Yet the connection between the Hammerklavier opening gambit and the Do-Re-Mi schema is not unwarranted, as will be shown below.

Example 4, Do-Re-Mi Prototype

Example 4 shows a standard Do-Re-Mi prototype in B♭ major (with scale degrees indicated by numbers). There are two noticeable differences between the opening gambit and the

9 I am indebted to Robert Gjerdingen for bringing this passage to my attention. 17

Do-Re-Mi prototype. First, as mentioned before, the crucial middle link (measure 2 of the prototype), the “Re”, is significantly missing. Second, the opening of the sonata is a two event schema, while the Do-Re-Mi is usually (but not always) a three event schema. What the opening of the piece does have in common with the schema is its function, as well as the basic contour.

Function and contour alone, however, are not enough to classify the schema. By this reasoning, any rising opening gambit is a “Do-Re-Mi”, which makes the classification vague. Having said this, one argument for drawing a connection between the opening of the movement and the schema in question is the unmistakable sense of rising by a third. Perhaps an even more compelling argument for making the connection is found in the way that the Do-Re-Mi idea is developed a couple of bars later. As Example 5 shows, one need not wait long to get the desired

“Re”. 10

Example 5, The "Do-Re-Mi" Schema in the opening of the Hammerklavier There are two instances of the Do-Re-Mi schema in bars 4-6. The first one occurs on a micro level; the second one happens on a more easily perceptible plane. The two subsequent instances of the pattern retrospectively clarify the Do-Re-Mi “origin” of the opening four measures. Note that the bass line of the idealized model of the Do-Re-Mi is lacking. Taking a

10 See also Example 28, where the affinity between the opening fanfare and the Do-Re-Mi schema is more easily detected. 18 closer look at the bass will unlock two other schemata buried within measures 4-6 of Example 5: a

Pastorella and a Monte.

Let us unpack this passage one schema at a time. The Pastorella (Gjerdingen, 2007, pp.

119-121) is a subtype of a Meyer (Gjerdingen, 2007, pp. 111-128). As Gjerdingen defines it, a

Meyer (named after Leonard Meyer, who noticed that this pattern was frequently used) consists of two little phrases – an antecedent and a consequent – with the melody made up of scale degrees 7-1 and 4-3, while the bass motion is 1-2 and 7-1. This will be easier to conceptualize with another simple example (Example 6).

Example 6, Meyer Prototype The Pastorella (“Shepherdess”) schema is very similar to the Meyer in that it also contains two small phrases (open and closed), but the scale degrees employed are slightly different, as shown in Example 7. 19

Example 7, Pastorella Prototype Mellifluous thirds in the upper voices is one characteristic feature of the Pastorella. Let us now get back to measures 4-6 of the Hammerklavier and observe the Pastorella in action

(Example 8).

Example 8, Hammerklavier, I, mm. 4-6 It should be noted that the Pastorella and the Do-Re-Mi are not mutually exclusive, as see in measures 4-6. For another, very similar example of a Pastorella/Do-Re-Mi opening combination, see the aria from Hasse’s Artaserse titled “Per questo dolce amplesso” (quoted in

Gjerdingen, 2007, p. 119). Regarding the current example, notice that the aforementioned mellifluous thirds are only partially present, and the bass does not entirely conform to the

Pastorella schema. It is appropriate to characterize this as a “Deceptive” Pastorella, since the bass 20 cadences on the sixth scale degree (Example 8, m. 6). This is where the last schema in this passage should be considered, namely the Monte Romanesca (Gjerdingen, 2007, p. 98). As usual, let us start with a simple prototype example (Example 9).

Example 9, Monte Romanesca Prototype As far as the upper parts go, the affinity between the Monte Romanesca and the

Pastorella is readily apparent. Moreover, the Pastorella’s deceptiveness can now be explained

(Example 10): the 6th scale degree in the bass in measure 6 is simply part of the Monte Romanesca bass line.

Example 10, Hammerklavier, I, mm. 4-6

The initial bass B♭ is missing, but everything else is in accordance with the Monte

Romanesca prototype. The examples above are not entirely unambiguous, so perhaps additional 21 light can be shed on this phrase by taking a look at the analogous passage in the recapitulation

(Example 11).

Example 11, Hammerklavier, I, mm. 230-232 Measures 230-232 plainly elucidate the implications of the earlier passage (mm. 4-6).

The Pastorella has her thirds, and the Monte Romanesca has its initial B♭. Is this passage a Do-

Re-Mi, a Pastorella, or a Monte Romanesca? The answer is all three, of course. The ancient ars combinatoria was still relevant in Beethoven’s time.

In measure 8 of the first movement, the first conspicuous cadence is heard: a “half- cadence” on the dominant of B♭ major. Arriving at this cadence involves yet another Galant schema, namely the Fonte. Though (as with all of the schemata) there is room for variety,

Gjerdingen defines the Fonte as two events: the first of which takes place in the minor mode, the second in the major mode, a step lower (Gjerdingen, 2007, p. 63). 22

Example 12, Fonte Prototype One of the ways this schema can be varied is by using scale degree 5 in the bass instead of the scale degree 7 in both parts of the Fonte (G instead of B, and F instead of A in Example 12).

There are, of course, other varieties as well. Now let us turn back to the half cadence (Example

13).

Example 13, Hammerklavier, I, mm. 6-8 This passage supports two different interpretations. On the one hand, it could well be argued that instead of comprising a two-key Fonte, the entire passage faithfully bears the B♭ major tonic throughout, as shown by the Roman numeral analysis in Example 13. On the other hand, the harmonic progression in measure 7 is fairly odd: “I6 → i6 → ii” is not exactly textbook 23 cadence writing. Therefore this spot can indeed be interpreted as a modified Fonte11. Whether we view this passage as a deviation from a Fonte or a deviation from a B♭ major half-cadence is, of course, debatable. However, what does seem to tip the scales in favor of a Fonte interpretation is the melodic sequential descent in the right hand: G-F-E♭, F-E♭-D. In light of this typical motivic descent, the D♭ in the bass (m. 7) should indeed be viewed as a ♭2 of C minor as opposed to a

“bluesy” ♭3 of B♭ major. Example 14 contains a rewritten version of the passage in question, suggesting that what Beethoven committed to paper in this spot is but a couple of notes (circled) away from a typical, conventional Fonte.

Example 14, Hammerklavier, I, mm. 6-8, hypothetically rewritten Subsequent measures (mm. 8-16) contain a larger iteration of the phrase found in measures 4-8. The schematic outline is similar to before, with the additional repetition of the

Fonte as part of a climactic buildup to the explosive tonic affirmation at the downbeat of measure

17 (Example 15).

11 For a similar occurrence of the Fonte schema, please see Dittersdorf’s String Quartet, K. 192, no. 2, second movement, measures 5-7 (Gjerdingen, 2007, p. 110, ex. 8.3). 24

Example 15, Hammerklavier, I, mm. 8-17 The aforementioned Monte Romanesca is a subtype of the Monte schema. Like the

Fonte, the Monte gets its name from the 18th century composer and teacher Joseph Riepel (1709-

1782), who described it in one of his treatises12. After Riepel, Gjerdingen defines the Monte (“a mountain” in Italian) as a sequence rising by step; though, as with other schemata, there is plenty of variety (Gjerdingen, 2007, pp. 89-106). For example, a Monte bass can rise by a fourth and fall by a third (Monte Principale), or it can rise by a fifth and fall by a fourth, as in the Monte

Romanesca (Gjerdingen, 2007, p. 98), or it can rise chromatically. Note that all of these varieties still generate a sequence in which each event takes place a step higher relative to the previous one. Montes can be diatonic or chromatically inflected to accommodate a local shift in tonic

(Gjerdingen, 2007, pp. 96-97). By the early 19th century, when Beethoven was writing the

Hammerklavier, the Monte in its usual guise was passé. Composers still used it, of course, but it

12 Anfangsgrunde zur musicalischen Setzkunst: Samtliche Schriften ur Musiktheorie, originally published in 1752, quoted extensively in Gjerdingen, 2007. 25 was normally masked, or incorporated into an already self-consciously retro “learned” topic (i.e. a fugato texture). Fugato Montes are certainly encountered in the Hammerklavier. For now, let us examine a passage which follows the climactic arrival at m. 17 (Example 16).

Example 16, Hammerklavier, I, mm. 17-26

The grandiose sequence in Example 16 certainly fulfills the “one step up” requirement of the Monte, at least in the right hand. The bass, however, is a different story: an insistent tonic pedal accompanies throughout. The initial two-bar structure of the events in the sequence is easily perceived, as is the switch to one-bar-long events at measure 24, which conveys a sense of increased intensity. Beethoven surely had the option of composing a more conventional Monte instead, such as in the hypothetical Example 17 (offered with apologies). 26

Example 17, Hypothetical Monte

The Monte in Example 17 is probably more appropriate for some sort of historically informed can-can. On the other hand, what gives Beethoven’s version (Example 16) its characteristic gravitas? Perhaps it is the sense of monumental expansion embodied by a rising sequence over a static bass. The bass provides a gravitational pull that makes the right hand’s rising all the more heroic13. The Monte culminates in another high point, followed by a downward cascade (not shown).

Measures 31-34 present a dominant pedal along with a triadic ascent in both hands

(Example 18). These traits are characteristic of another Galant schema termed by Riepel and further described by Gjerdingen, namely the Ponte (Gjerdingen, 2007, pp. 197-215).

Example 18, Hammerklavier, I, mm. 31-34

13 For a discussion of musical “gravity”, see Hatten (2004, p. 114). Hatten explores kinesthetic and gestural aspects of music in great detail. 27

Surprisingly, despite the Ponte’s apparent simplicity, this is the most puzzling of all the

Galant patterns examined in Gjerdingen’s book. The reason is that in his treatise, Riepel’s description of the Ponte gets “more perplexing with each new example” (Gjerdingen, 2007, p.

200). Gjerdingen simplifies matters by observing general features of the Ponte, and defining it as a schema based on “repetition or extension of the dominant triad or seventh chord”, with “the contour generally rising”, and used later in the 18th century to “heighten expectation prior to an important entry or return” (Gjerdingen, 2007, p. 461). Thus defined, Example 18 certainly qualifies as a Ponte.

The “important entry or return” that the Ponte in measures 31-34 prepares is that of the opening fanfare motive, which takes a sudden common-tone modulatory turn towards D major.

Another Ponte follows in measures 38-45 (Example 19), this time on the dominant of G.

Example 19, Hammerklavier, I, mm. 38-45 28

The Ponte in Example 19 also conforms to the established criteria. Additionally, it provides the same sense of expansion experienced from the Monte in Example 16. A lengthy transitional section arrives at a second thematic area (G major, as advertised).

The next Galanterie occurs in measure 74. It is a brief Fonte which concludes a downward sequence (Example 20).

Example 20, Hammerklavier, I, m. 74 This Fonte is somewhat of a deviant in that it has a ♯3 in the first event. Like Riepel, I will treat the C♯ not as a harmonic event, but as a chromatic inflection of A minor. Gjerdingen terms this variant the Chromatic Fonte (Gjerdingen, 2007, pp. 106-107, 133). The ♭6 on beat 3 marks this

Fonte as being of the “hermaphrodite” kind, mixing the “feminine” minor with the “masculine” major in the second event (Gjerdingen, 2007, p. 67).14 Let us consult the analogous Fonte in the recapitulation (Example 21) to clear up the “chromatic inflection” issue.

14 The colorful gender terminology is Riepel’s. 29

Example 21, Hammerklavier, I, m. 306

As Example 21 illustrates, the Fonte is “corrected” in the recap, in that the first event no longer ends with a ♯3 (though the genderally controversial ♭6 remains). This is not the last schema that is tweaked towards the more conventional as the movement comes to a close.

For now, let us turn to a rather deranged Monte which takes place in measures 85-91

(Example 22).

Example 22, Hammerklavier, I, mm. 85-91 30

There are three distinct events within this Monte; however the sequence is rather unusual. This is not a Monte Romanesca, nor is it a Monte Principale, nor is it the standard Chromatic Monte

(rising by half-steps in the bass). Yet the sequential rise clearly suggests some sort of a Monte pattern. Despite its apparent chromatic wildness, the tonal structure of this sequence could not be more conventional as far as the Circle of Fifths is concerned: D major (m. 86), G major (m. 88),

C major (m. 90). Additional coherence is supplied by voice leading: stepwise motion in the bass and repeated notes in the soprano ensure a smooth connection between each event. One of the reasons this passage sounds so unconventional, however, is the brevity of the local tonics, and the fact that they are approached by a diminished vii7 chord, as opposed to a strong dominant.

And the local tonic is, as Robert Hatten would say, “undercut” rather quickly before the listener is propelled onto the next stage in the sequence.

At this point, the exposition is coming to a close, and it is time to introduce another

Galant schema: the Fenaroli (Gjerdingen, 2007, pp. 225-240, 462). The general characteristics of the Fenaroli schema are the presence of “Four events, equally spaced, with the whole schema usually repeated”, with the bass featuring scale degrees 7-1-2-3 (in various orders), while the soprano can feature the scale degrees 4-3-7-1 or 2-3-7-1. Other characteristics include the

“Durante countermelody” (5-4-3-1-7-5-1-3), and a dominant pedal (Gjerdingen, 2007, p. 462).

Notice that 4-3-7-1 is a subset of the Durante countermelody. Example 23 provides a Fenaroli in one of its numerous possible guises. As with most schemata, it is important to remember that this is a prototype, not the prototype. 31

Example 23, Fenaroli Prototype

Example 24, Hammerklavier, I, mm. 100-109

Now let us take a look at the end of the exposition of the Allegro (Example 24). The

Fenaroli in measures 100-109 has a few unusual features. To begin with, despite the G major key signature, the Fenaroli takes place in C major. Moving back to the tonic in which the exposition ends (G major) requires two small transition sections (the second transition is not shown in the example, but it occurs after the second Fenaroli event). The very fact that this Fenaroli’s two 32 events are separated is also unusual, as is the mixture of modes (minor followed by major) between the events. A Lydian twist is added by the ♯4 in both iterations. The reasonable suspicion that the F♯ in measures 100 and 106 should actually be natural is negated by the presence of ♯4 in measure 201 (Example 25), as well as in an analogous moment in the recapitulation (Example 26). The ♯4 finally is “corrected” in measure 338 with an A♭ replacing the A♮ in the second half of the schema (circled in Example 26). This “correction” can actually be interpreted as a resolution of a movement-long “problem”. The nagging ♯4 finally stops nagging, as can be confirmed in the much simpler and more conventional Fenaroli that takes place in measures 362-372 (Example 27).

Example 25, Hammerklavier, I, mm. 201-204 33

Example 26, Hammerklavier, I, mm. 332-341

Example 27, Hammerklavier, I, mm. 362-369

A few words are warranted regarding the last Fenaroli (Example 27). Out of all of the preceding deployments of the schema in the Allegro, this one is at once the most complete and the simplest. The customary repetition of the first event is no longer pre-empted by a transitional 34 passage. The ♯4 no longer “spoils” the Durante countermelody15. In the second event, the

Durante countermelody is stripped down to the aforementioned 4-3-7-1 subset. Note the canon- like nature of the second event (mm. 366-370). The 7-1-4-3 progression in the soprano is complemented by 4-3-7-1 in the bass. Sometimes such a “canon-like” Fenaroli would involve the scale degrees 7-1-2-3, but a 7-1-4-3 Fenaroli is surely in accordance with the general characteristics stated earlier. (The one unusual trait that is still retained, however, is the mixture of minor and major modes within the schema). Along with the Fontes in Example 20 and Example

21, the Fenaroli occurrences discussed above suggest a trend towards stricter adherence to convention as the first movement comes to a close. What might this gradual simplification mean? Does it reek of some sort of Galant nostalgia? Perhaps shifting the discourse towards the more conventional is merely a practical strategy directed at signaling the movement’s conclusion.

Returning to what Sonata Form aficionados would call the transition between the exposition and the development sections, there is still much Galant business to account for aside from the above thread spotlighting the Fenaroli. The first ending is very efficient at its expected task of moving the listener back to the tonic for the re-playing of the exposition. From the local tonic G, it takes but a Do-Re-♭Mi rise to move back to B♭ (Example 28). After Beethoven establishes G major through an abundance of F♯’s and strong dominants, the ♭Mi certainly comes as a shock! The second ending, on the other hand, keeps the Mi normally expected of G major, and then further expands the rising gesture to include Mi, Fa, and Sol (Example 29).

15 The other “nagging” dissonance, namely the C♭ in the first event in Example 27, has to do with the “Neapolitan” conflict between B♮ and B♭, which is covertly (and overtly!) taking place throughout the Sonata. In connection to this, see Lambert, 2008, p. 456, and Rosen, 1997, pp. 409 – 434. 35

Example 28, Hammerklavier, I, mm. 120-124, first ending

Example 29, Hammerklavier, I, mm. 120-123, second ending What follows next is a tune first presented in measures 112-115 (not shown). The melody in its new guise (mm. 124-130, Example 31) is harmonized in the most venerable fashion: the fundamental bass and harmonic progression is G – C – B♭– E♭. Why is it venerable? Age adds a certain gravitas to most things, whether it is to people, buildings or works of art. This particular bass progression is old indeed, as it is part of an ancient ground bass called the Folia, presented in Example 30 (Gjerdingen, 2007, p. 30; Taruskin, 2010a, p. 626). 36

Example 30, Folia Ground Bass

Example 31, Hammerklavier, I, mm. 124-131

The “Folia fragment” in Example 31 may at first seem tenuous. However, Beethoven provided another iteration of this progression in the very same key later in the piece (Example 32).

In fact, Beethoven used this bass progression frequently. See, for example, his Piano Sonata, Op.

109, first movement, measures 26-30; Piano Sonata, Op. 111, second movement, measures 12-

14; and the opening of Piano Sonata, Op. 90 for the “Folia fragments”. See also Beethoven’s

Piano Concerto No. 3, first movement, measures 17-22 and analogous sections; as well as his

Piano Concerto No. 4, first movement, measures 235-239; and – most emphatically – his Piano 37

Concerto No. 5, first movement, measures 38-45, and all analogous sections, where a slightly modified Folia schema sounds almost in its entirety.

Example 32, Hammerklavier, I, mm. 176-190 The venerable “aged” topic in the Hammerklavier does not end with the Folia bass. The section between the two “Folia fragments” is a preview of the last movement of the piece – a brief but impressive canon fugue based on the opening fanfare of the piece. A Galant schema that is particularly suited for fugal texture, especially in the self-consciously elevated context of a late Beethoven sonata, is the long-outdated (like fugues themselves) Monte Principale, shown in 38

Example 33 (Gjerdingen, 2007, p. 98).16 In Example 34 and Example 35, the Monte Principale bass is easily perceived.

Example 33, Monte Principale Prototype

Example 34, Hammerklavier, I, mm. 137-141

Example 35, Hammerklavier, I, mm. 147-152

16 For a blatant melodic display of the Monte Principale bass see the fugues in the last movement of Beethoven’s Piano Sonata, Op. 110. 39

The E♭ circled in Example 35 is a point of small controversy. Apparently, the manuscript is not very clear (which is not so unusual with Beethoven) as to whether it is intended to be G or

E♭. Two well respected Beethoven scholars, Heinrich Schenker and Artur Schnabel, hold diametrically opposed views on this matter. In his edition of the Sonatas, Schenker favors G so strongly that he neglects to even mention the potential discrepancy (Beethoven, Schenker, &

Schachter, 1975, p. 515). Schnabel, on the other hand, favors E♭, and as his argument, he adduces the following: “Often one finds, too, as first quaver in the bass, ‘g’; ‘e♭’ is however surely correct” (Beethoven & Schnabel, 1935, p. 698 footnote “f"). Knowledge of Galant schemata can bolster Schnabel’s position and perhaps present his argument in a more convincing fashion. The E♭ preserves the Monte Principale bass line and supports Schnabel’s contention that the E♭ is “surely correct”. Nevertheless, the schematic orthodoxy in measure 148 is obtained at the cost of pleasant harmony (the downbeat sounds empty and hollow), so which note is chosen for performance will depend on the priorities of the performer. Though the E♭ neatly falls into the framework of this study, I hesitate to claim that the issue is resolved once and for all. Yet the schematic perspective does lend coherence and weight to Schnabel’s otherwise gratuitous argument.

For now, there is still one last Monte Principale to climb before moving on to the aforementioned second “Folia fragment”, and it is a steep one indeed (Example 36). 40

Example 36, Hammerklavier, I, mm. 155-176

The Monte Principale in Example 36 is complex, and can be interpreted in two ways, as shown by the red and purple note indications. It is followed by a Chromatic Monte, and subsequently by a “Contour” Monte, where a rising sequence is easily identified, albeit not easily classified. The Phrygian Cadence in measure 176 prepares the “Folia fragment” heard in Example 41

32, which, incidentally, continues the epic ascent initiated in measure 137 all the way to a stratospherically high D in measure 197, at which point a Ponte ensues (Example 37).

Example 37, Hammerklavier, I, mm. 197-201 Though this particular Ponte does not feature the expected triadic rise, it more than makes up for this “shortcoming” by virtue of its insistent repetitiveness and sense of impending resolution. If in measure 201, the opening fanfare of the piece were to sound off in a triumphant

G major, this would not come as a surprise. However, Beethoven instead brings back the

Fenaroli schema from the exposition by way of clever voice-leading (Example 37 leaves off where Example 25 begins).

The recapitulation is finally reached in measure 227, and since most of the schemata are analogous to their first presentations in the exposition, they need not be further examined. There are, however, a couple of interesting situations to consider before this discussion is complete. For instance, a piquant Fonte deviation takes place at the beginning of the recap in measures 232-234

(Example 38, compare to Example 13): 42

Example 38, Hammerklavier, I, mm. 232-234 Instead of the expected “minor followed by major a step down” sequence of events, there are two events that nominally end in minor. However, the G minor sonority in measure 234 is the result of a small deceptive cadence, with the characteristic bass motion of V to vi. Thus, the Fonte in measures 232-234 may be classified as “deceptive”.

Another curious, but related Fonte occurs a little later (Example 39).

Example 39, Hammerklavier, I, mm. 239-241 While the “soprano” and “tenor” present the expected Fonte scale degrees, the “alto” and “bass” domesticate this Fonte into the realm of G♭ major. There will be many instances of “Fonte over a dominant pedal” later in the piece, but the context of this particular instance is special. The G♭ major climactic arrival happens in measure 249 (not shown). To those intimately acquainted with 43 the expected norms of Sonata Form theory, a climax in the key of G♭ major during the recap of a

B♭ major Allegro movement may seem a bit bizarre. However, there are a couple of strategic reasons why Beethoven might have chosen to arrive in this key so emphatically. Firstly, as the readers familiar with the piece can easily “foresee”, G♭ major is an enharmonic premonition of the monumental slow movement (which is in F♯ minor). Secondly, G♭ is the flat submediant

(♭VI) of B♭, and the fact that this climax is an “answer” to the analogous arrival in B♭ major in the exposition (Example 15, m. 17) only serves to underscore the conspicuity of the relationship between the two keys. What is so special about the ♭VI? When discussing the music of Schubert

(a contemporary of “late” Beethoven, lest we forget) in his widely read Oxford History of

Western Music, Richard Taruskin points out that the key (both major and minor) of the ♭6th scale degree was important to early Romantics because of its associations with the “sublime”, and its usefulness in facilitating a “musical trance” (Taruskin, 2010b, pp. 87-98). See, for example, the

F♯ minor arrival in measure 48 of Schubert’s B♭ major Sonata (Taruskin, 2010b, p. 98), and numerous other pieces quoted by that author. Perhaps exploring the flat submediant relationship was yet another way by which Beethoven actively influenced the harmonic language of the early

Romantics, such as Schubert. As Taruskin pointedly puts it,

The question that so exercised twentieth-century historians – was Beethoven classic or romantic? – is very illuminating of their time; it is altogether meaningless in the context of Beethoven’s time, when “the classic” as a concept in opposition to romanticism did not exist, and it has absolutely no light to shed on him. Beethoven’s coming of age in the last decades of the eighteenth century, far from equipping him with a protective shield against burgeoning romanticism, was precisely what made him the primary embodiment of that very burgeoning. (Taruskin, 2010c, p. XXII)

44

The fact that Beethoven modifies the Galant Fonte schema and incorporates it into a “sublime” tonal relationship confirms once more the notion that his late style was a synthesis, not an

“opposition”, of his Galant upbringing and the nascent Romanticism.

The ways in which three other Galant patterns introduced in the exposition are modified in the recapitulation also suggest the Romantic preoccupation with the sublime. As shown in

Example 40, Example 41, and Example 42, the Monte in measures 249-259, and the Pontes in measures 263-266 and measures 268-276, are all extravagantly eccentric compared to their

Galant prototypes and their earlier presentations within the piece. In the Monte in Example 40, the overbearing presence of threatening diminished 7th chords is very much in contrast to the affirmative (if chromatically inflected) triads of the analogous Monte in the exposition (Example

16). The Ponte in Example 41 is undercut at the very end by an unexpected enharmonic twist which prepares another special key, the infamous “Neapolitan” B minor (m. 267, not shown; compare to Example 18)17. And finally, the Ponte in Example 42 is much more harmonically adventurous than its counterpart in the exposition (compare to Example 19). The enormous range between the pianist’s hands suggests sublime “boundlessness” and “musical infinity”, to borrow terms Richard Taruskin used to describe another passage involving similarly impressive distances: Beethoven’s Piano Sonata, Op. 111, second movement, measures 116-120 (Taruskin,

2010c, pp. 732-734). It is not surprising, then, that this Ponte (Example 42) is entrusted with the

17 See 15. 45 all-important mission of moving the listener back into the orbit of B♭ major.

Example 40, Hammerklavier, I, mm. 249-257

Example 41, Hammerklavier, I, mm. 263-266 46

Example 42, Hammerklavier, I, mm. 268-277 This trend towards a sublime distortion of Galant schemata is dramatically reversed upon reaching the Fonte in measure 306 (Example 21) and the Fenaroli barrage which starts at measure

332 (Example 26 and Example 27), where more prototypical deployments of the schemata are given preference by the composer. The seeming Galant simplification at the end of the first movement is compounded by the presence of two fairly obvious Chromatic Montes (Example 43 and Example 44). As mentioned earlier, a preference for simpler Galant schemata towards the end of the Allegro is more in line with Beethoven’s use of the patterns in the second movement, where they are presented in an unabashedly obvious, easily discernible fashion. Before moving on to the Scherzo, however, there is one last question regarding the Allegro that must be confronted. 47

Example 43, Hammerklavier, I, mm. 350-358 48

Example 44, Hammerklavier, I, mm. 377--382 To conclude the discussion of the opening movement, one is obligated to address the proverbial elephant in the room, the controversy whose glaring omission from this study every reader familiar with the piece has certainly noticed by now. It is, of course, the perennial problem of whether A♯ or A♮ is supposed to be played in the famous spot right before the recapitulation (mm. 225-226). Predictably, Schenker and Schnabel disagree in this instance as well, with Schnabel favoring A♯ despite the “Dogma of Harmony” presumably suggesting otherwise (Beethoven & Schnabel, 1935, p. 702 footnote "a"). Another well-known pianist/scholar, Paul Badura-Skoda, offers the keen observation that A♯ is preferred by “romantic spirits” (Badura-Skoda, 2012, p. 756), and rightly so. The A♯ sounds more mysterious, less conventional. In short, it is a “Stroke of Genius” (Beethoven & Schnabel, 1935, p. 702 footnote

"a"). On the other hand, the A♮ “makes more sense”; it is more expected, conventional, and therefore less Romantic (Meyer, 1996, pp. 164-167). Do Galant patterns shed any light on the 49

“correct” note? As seen in Example 45, the buildup starting from measure 213 can be clearly classified as a Ponte, preparing for a resolution to (Neapolitan!) B major, as the key signature at measure 214 seems to corroborate:

Example 45, Hammerklavier, I, mm. 212-220

The possibility that a B major Ponte (that is, a Ponte built on a V7 chord with F♯ in the bass) would ultimately resolve through an implied German Augmented 6th chord to B♭ major

(albeit with unconventional spelling), though “surprising”, should not be earth-shattering, given

Beethoven’s prolific use of the German Augmented 6th elsewhere in his output. As Example 46 demonstrates, it turns out that the “Dogma of Harmony” Schnabel so despises can actually justify the “A♯ version”. For just such a harmonic turn, the reader is invited to consult the passage immediately before the recapitulation in the first movement of another B♭ major work by Beethoven, his Fourth Symphony (Example 47 and Example 48). The spelling is different but

the effect is similar. Such progressions typically proceed as follows: Ger Aug 6 → → V7 50

→ I. Significantly, the strong V7 tonicizing link is missing in both passages, further underscoring the similarity between them.

Example 46, Hammerklavier, I, mm. 220-227 51

Example 47, Beethoven, Symphony No. 4, I, mm. 275-307, Piano reduction by Franz Liszt

Example 48, Beethoven, Symphony No. 4, I, mm. 331-335, Piano reduction by F. Liszt 52

Does any of this prove unequivocally that A♯ is in fact the “correct” note to play in the

Hammerklavier transition? Absolutely not. Firstly, there are many equally logical reasons for preferring the A♮ (Badura-Skoda, 2012; Beethoven et al., 1975, p. 518), especially if one prioritizes smooth voice leading over complicated harmony. Secondly, if this controversy could be resolved by musical reasoning alone, it would have been resolved a long time ago. Finally, at the expense of revealing my own Romantic bias for “openness”, I must pose the following question: If a newly found source in Beethoven’s hand once and for all resolved this issue in favor of either version, would that enrich our experience of the piece or impoverish it?

Supposing that such a definitive finding will diminish our enjoyment of the piece now, approximately 200 years since its writing, then should we lament the (perceived) certainty with which most “Classical” music has been passed on to us? Or should we appreciate the controversies while they last instead of trying to narrow down our choices to one “authentic” version? Finally, would it be sacrilegious to conjecture that an “inauthentic” version of a passage could be potentially preferable to the one that the composer initially “intended” or committed to paper? These are questions to which no schemata, Galant or otherwise, can provide certain answers; but they are important questions to ponder, even if the only result of such pondering is the mere discovery of our own biases.

Scherzo, Assai vivace The second movement can be described as a quirky, hectic quasi-minuet in B♭ major.

The structure is a fairly obvious ABA with a coda, where the “B section” can be loosely considered a “trio” in the parallel minor. The meter is three quarters per bar, with a brief Presto section “in one”, which is perhaps the most unusual feature of this movement. Just as in minuets 53 of old, Galant schemata are prevalent, at least in the “A sections”. The Scherzo starts out with a very familiar chord progression, immortalized by Pachelbel in his Canon (Gjerdingen, 2007, pp.

27-28). This progression, however, was not Pachelbel’s invention, and musical “invention” in the way it is understood today was not the prerogative of composers back then. Composition often had more to do with the manner in which construction blocks were assembled and decorated, rather than with inventing new construction blocks. The opening construction block (or schema) of the second movement of the Hammerklavier was known for a long time as a Romanesca

(Gjerdingen, 2007, pp. 25-43; Taruskin, 2010a, pp. 626, 821). A prototype (not the prototype) is presented in Example 49 and Example 50. The “stepwise bass” variant (Gjerdingen, 2007, pp. 31-

32) is shown. Note the descending parallel thirds on each downbeat.

Example 49, Stepwise Bass Romanesca Prototype

Example 50, Hammerklavier, II, mm. 1-3 54

The similarities between the prototype shown and its manifestation in the piece are striking, but Beethoven’s rendition of the Romanesca is far from being trite or bland. The reason is that Beethoven, like any good composer, finds little ways to make something that is not in itself “original” into something piquantly interesting. Firstly, he incorporates a bit of rhythmic displacement. The chord that is usually weak (second half note of each measure in the prototype) occurs on a strong beat in Beethoven’s version. Secondly, he adds a bit of chromatic spice by way of an unexpected F♯ (m. 2), which would normally be F♮. (For a Romanesca that is rhythmically displaced but does not contain the chromatic alteration, see the opening of

Beethoven’s Sonata, Op. 109.) Another interesting detail is that Beethoven allows the first, third, and fifth chords to make a brief comeback each time (on the second beat of each measure), thus seemingly stalling the descent. The F♯ in measures 1-2 most likely serves to avoid a “leading- tone-less” resolution on the second beat of the second measure.

After the first seven-bar phrase is repeated, it is time for a good, old-fashioned Fonte

(Example 51). Like the “domesticated” Fonte in Example 39, this Fonte is also over a dominant pedal.

Example 51, Hammerklavier, II, mm. 14-18

55

Another Fonte, which is slightly more masked than its immediate predecessor, is found a few measures later (Example 53). Though at first not easily apparent, a comparison with a hypothetical, more “normal” version (Example 52) betrays the Fonte heritage of this phrase. Note the postponement of the resolution to C minor (circled in Example 53), which adds a bit of tension before one finally hears the expected C minor Fonte dyad (1 and 3) on the second beat of measure 28. Also, the 4 to 3 scale degree progression is missing from the second event, which is in B♭ major. This slightly modified, “closing” Fonte marks the end of the “A section” of the movement (mm. 42-46, not shown). This is somewhat unusual, given that most of the time ones expects to find Fontes immediately after the double-bar in a minuet (Gjerdingen, 2007, pp. 61-

71), in which case they serve as an opening phrase, not a closing one.

Example 52, Hypothetical Fonte 56

Example 53, Hammerklavier, II, mm. 26-30 The parallel-minor “B section” does not succumb to Galant analysis very well, and there is no reason to force it to do so (there is not much that is Galant about it). The clear “melody and accompaniment” texture undergoes a triadic workout, with its athleticism further underscored by frequent role reversals between the hands, and a hectic, physically challenging triplet-based accompaniment. All of this culminates in a perplexing Presto section, which starts out timidly in quiet unison, but then bursts into a furious mix of the rustic with the manic. How does Beethoven transport the listener back to the tamer, more Galant “A section” after all of this? With a Ponte, of course! Though the customary triadic rise is missing, we are recompensed by a scalar rise of epic proportions – a sublime “Mega-Ponte” spanning six octaves – no doubt pushing

Beethoven’s available keyboard range to its limit (Example 54). 57

Example 54, Hammerklavier, II, m. 112 (partial) The rest of the movement contains a slightly spiced-up repetition of the initial “A section”, followed by a bizarre ending, which underscores the “Neapolitan” vs. tonic conflict within this piece18. In sum, despite the tempestuous middle section, the second movement is by far the most Galant movement in the sonata, both in overall structure and in character. The irregular lengths of phrases (7 + 7 + 4 + 4 in the opening 22 bars) as well as the generally amusing atmosphere contribute to the Galantness of the movement. However, the presence of the arcane middle section underscores the synergetic concoction of the old and the new – the Galant and the Romantic – within Beethoven’s late style.

Adagio sostenuto. Appassionato e con molto sentimento In this tragic, F♯ minor (♭vi of B♭ major!) movement, all hint of the courtly, the amusing, or the Galant is ostensibly eradicated. The overall mood is dark, desolate, and at times resigned.

However, unlikely as it may seem, Galant schemata are still present. Occasionally they are easy to spot. But most often they are buried deep within the thick texture and vast temporal spans

(traits surely expected of a slow movement that takes approximately 15-20 minutes to perform).

18 See 15. 58

Furthermore, despite their veiled nature, most of the Galant patterns are paradoxically very closely tied to their familiar, expected syntactic functions.

One must wait until measure 36 for an alleviating glimpse of a familiar friend, the Monte

(Example 55). Like many schemata presented above, this one does not follow the “gold standard” of convention, but the overall rising contour, and especially, the stepwise ascent in the left hand, strongly justify the present classification.

Example 55, Hammerklavier, III, mm. 36-38 What happens next is a beautiful moment tinged with nostalgia – a momentary lapse in concentration which allows for a brief remembrance of things long gone (Example 56). What exactly makes this moment nostalgic? It is a Fonte out of place, a Galant occurrence stripped of its amusing or witty connotations. A further sense of suspended animation is provided, yet again, by a dominant pedal (of D major). Beethoven goes a long way to disguise his use of convention: the two localized tonics, E minor and D major, are lavishly adorned with “non-chord” tones. 59

Both the “feminine” ♭6th and the “masculine” ♮6th are present in the second event of the schema, conspicuously underscoring the “hermaphrodite-ness” of this Fonte. Additional affecting chromaticism is added by the presence of the ♯4 inflection in the second event.

Example 56, Hammerklavier, III, mm. 39-40 There is one rather common Galant schema which has been notably missing from this narrative so far, namely the Prinner (Gjerdingen, 2007, pp. 45-60). The Prinner usually serves as a riposte to an opening gambit, or as a smooth transition to a different key, usually the dominant

(Modulating Prinner). Example 57 provides a simple prototype.

Example 57, Prinner Prototype The first Prinner that occurs in the slow movement of the Hammerklavier is rather bare and unceremonious (Example 58), but it fulfills the expected Prinner function by facilitating a 60 transition to a tonally stable D major section19 (an argument can be made for this being the

“second theme”). In imitation of Riepel’s verbal prowess, and to spice up what is an otherwise dry theoretical study, let us dub this version of the schema the “Naked” Prinner, since the mellifluous parallel thirds normally associated with the pattern are absent until the downbeat of measure 45.

Example 58, Hammerklavier, III, mm. 44-45 The D major section flows into a beautiful, uplifting, (mostly) Diatonic Monte, with the upper voice traversing a minor 9th by stepwise motion in the space of three bars. The florid, triplet-based inner voices supply what Robert Hatten calls “plenitude”, which “may be understood as a desired goal achieved by processes that lead to the ultimate saturation of texture…” (Hatten, 2004, p. 43)20.

The texture in Example 59 is saturated indeed. Stripping it away reveals a fairly straightforward 5-6 ascending sequence, as indicated by the arrows in the example below (see

19 The choice of D major for a contrasting section of an F♯ minor movement is not coincidental. As mentioned earlier, the ♭VI relationship (even when the “flatness” is necessitated by the minor mode of the tonic) was important to early romantics. D major will later make another noticeable return in m. 113. 20 For an illuminating and insightful analysis of the third movement of the Hammerklavier from a perspective different from this study, see Hatten, 1994. Hatten does not discuss the concept of plenitude specifically in relation to this movement. 61

Gjerdingen, 2007, pp. 94-95 for a similar, if less adorned, sequence). Yet there is nothing simple or straightforward about the way Beethoven disguises and decorates this passage. The four-part texture is handled with elegant contrapuntal mastery. Note also the proportional regularity with which Beethoven puts the ascending interval pattern through rhythmic diminution in three stages: measures 53-54 (twelve eighth notes), measure 55 (six eighth notes), and the first half of measure 56 (three eighth notes). This crescendo of rhythmic concentration helps to increase plenitude without increasing the number of voices.

Example 59, Hammerklavier, III, mm. 53-56 A momentous return of the “first theme” takes place in measure 88, adorned with 32nd- note melodic decorations to the point of barely being recognizable (plenitude galore!). As is 62 probably expected by now, the return is achieved through a Ponte, of sorts (Example 60). Though the contour of this Ponte is mostly descending, the function of providing, as Gjerdingen puts it,

“delaying tactics employed to heighten expectation prior to an important entry or return”, is certainly realized (Gjerdingen, 2007, p. 461). The customary ascent does take place at the end of the schema, traversing three octaves in a matter of three beats with an intensely anticipatory diminished 7th chord. The incessant dominant pedal seems to confirm the present classification of this event as a Ponte.

Example 60, Hammerklavier, III, mm. 85-87

The Prinner makes another appearance in measure 123 (Example 61). This one is hard to spot immediately, but the connective function of the schema is once again fairly obvious.

Curiously, the Prinner in measure 123 supplants the Monte found in the earlier, analogous section (mm. 36-38, Example 55), and immediately flows into another nostalgic Fonte (Example

61) presented in a slightly modified guise from its earlier, analogous iteration (compare to 63

Example 56). The Prinner in Example 61 is termed “hermaphrodite” due to its unusual inclusion of the ♭6 scale degree, which is normally reserved for occasional use in the second event of a Fonte.

Example 61, Hammerklavier, III, mm. 123-125 Before finally moving on to the colossal last movement, there is one more new schema to address and witness in action: the Quiescenza (Gjerdingen, 2007, pp. 181-195, 460). The most common use of this schema is to “mark a short period of quiescence following an important cadence at the end of an important section” (Gjerdingen, 2007, p. 460). In other words, this pattern is usually deployed after a significant arrival, in order to confirm the tonic in a peaceful, harmonically stable manner. The prototype shown in Example 62 is in the minor mode, for easy comparison with the passage in the piece. In line with its reaffirming function, this schema is almost always repeated. The Quiescenza at the end of the third movement of the Hammerklavier is complicated and thoroughly veiled, but close analysis will confirm its classification (Example

63). This specimen serves to underscore the Romantic pre-occupation with disguising convention 64

(Meyer, 1996, pp. 222-241). At a slow tempo, this Quiescenza takes on rather large proportions, which is not surprising. Most patterns found in this movement are obscured by dense textures and relatively long durations, both of which are factors contributing to their magnitude. As

Leonard Meyer keenly points out, “Magnitude tends to mask schemata – especially those defined by syntactic relationships – because of the constraints of aural memory” (Meyer, 1996, p. 231).

Is Beethoven’s use of romantically concealed Galant schemata in the third movement incongruous with his use of more obvious variants of the patterns in the second movement?

Quite the contrary. The characters of the second and third movement are very different, so

Beethoven’s deployment of his Galant arsenal is varied accordingly. In that regard, he was being fairly consistent.

Example 62, Quiescenza Prototype 65

Example 63, Hammerklavier, III, mm. 173-178 The Quiescenza in measures 173-178 is obscured not only by magnitude but also by complexity. The texture is replete with many interwoven voices, and the scale degrees which define the schema are often decoratively surrounded by “non-chord” tones. For example, the ♭7 degree, E, in measure 176, is preceded by E♯ and F♯; the 6th degree, D, is postponed by E and C♯ in measure 177. The regularity of the events, the presence of the tonic pedal, and the fact that the schema repeats after two bars, all help to identify this Quiescenza as such.

This is an appropriate time to address a possible way in which knowledge of Galant patterns could help a performer make an educated interpretive choice. Let us construct a hypothetical example. A student and a teacher have an argument. The teacher argues that the 66 important closing arrival point of the second movement occurs on the downbeat of measure 176, since it is where the first clear F♯ major sonority is heard. The Galantly judicious student, on the other hand, insightfully points out that it is very unlikely for a structural arrival to occur in the middle of a Quiescenza, so the emphatic arrival most likely comes on the downbeat of measure

178. As mentioned before, normally the Quiescenza is used after an important cadence, but the expected cadence was undercut (m. 173) by a maneuver which kicked off the Quiescenza to begin with. Based on this evidence, the downbeat of measure 178 is indeed worthy of marked emphasis in performance21. The Quiescenza helps the passage ease into the transcendent F♯ major mood that finishes this otherwise tragically tinged movement.

Largo – Allegro – Allegro risoluto. Fuga a tre voci con alcune licenze The transition between the ending of the third movement and the introduction to the fourth seems odd: it is an unceremonious chromatic descent from a lush, sonorous F♯ major chord to a skimpy, undecorated, ascending F♮. The descent in the bass (F♯ to F♮) is an integral

th part of a “German augmented 6 → ” progression in the key of B♭ major. The progression is not stated explicitly, but it does not have to be in order to loom at the edge of our consciousness as a likely explanation (rationalization?) for such a seemingly unusual maneuver.

As Schubert, Schumann, Liszt, and others would later demonstrate on countless occasions, the

German augmented 6th chord is an effective means to awaken the listener from the ♭VI trance.

Had there been an E tacked onto the last F♯ major chord of the third movement, the progression would instantly become lucid. Note the similarity of this transition to that between the second

21 As always, the specter of dogma is never far away. While it is indeed unlikely that a structural arrival will take place in the middle of a Quiescenza, it is not altogether impossible. The option of placing emphasis contrary to the Galant explanation presented in this discussion (i.e. on downbeat of m. 176 as opposed to m. 178) remains aesthetically valid. The aim here is to provide historically and theoretically justifiable reasoning for a performance option, not to eradicate the alternatives. 67 and third movements of Beethoven’s “Emperor” Concerto (No. 5), where, from a ♭VI (B major) trance, one awakens to the “reality” of E♭ major through an identical (albeit necessarily transposed) maneuver: the “implied German augmented chord” bass descent. 22

When it comes to Galant schemata, their presence in the fourth movement of the

Hammerklavier may seem as unexpected as it would in the tragic third movement. The character of the fugue is utterly severe, incessant, and at times sublimely threatening. In terms of sheer magnitude, the fugue is still, after about 200 years, among the longest and most difficult to perform, as any pianist who has taken the plunge will readily testify. Why would Beethoven insert the seemingly out-of-place Galant patterns into such a piece? Firstly, as they were part of his vocabulary, Galant patterns were somewhat of a sure bet to rely upon even when exploring

“new” territory. Secondly, the Monte and Fonte patterns are often found in actual early 18th century fugues, so their presence in Beethoven’s emulation should not be surprising. Thirdly, as mentioned before, from the point of view of the audience, having an occasional familiar pattern or two can be cognitively reassuring, especially when barraged with an unprecedented aural onslaught of inversions, diminutions, augmentations, and various combinations of the above.

The first Galanterie is found in, for lack of a better term, the opening “measure” of the final movement. Measure is a loose concept in this introduction, as a glance at the score will quickly reveal. A small Prinner makes a cameo appearance (Example 64).

22 As mentioned earlier, the present discussion of the importance of ♭VI relationship in Romantic music owes much to Richard Taruskin’s Oxford History of Western Music (Vol. 3, pp. 87-98). Taruskin mainly concentrates on the deployment of the flat submediant in the music of Schubert. However, as can be seen from this discussion, Schubert’s use of this special effect likely has its origin in the younger composer’s intimate familiarity with the music of Beethoven. This is not to bestow on Beethoven the all too predictable label of a “prophet”. But his influence on subsequent developments of nineteenth-century music can hardly be overstated. 68

Example 64, Hammerklavier, IV, last three quarter notes of m. 1

The transition from the introduction into the fugue proper, as should be expected by now, is facilitated by a romantically sublime Ponte (Example 65). Like its counterpart in the second movement (see Example 54), this Ponte traverses quite a range. But that is just the beginning. This is a diverging, metaphorically all-encompassing Ponte. The descending thirds in the left hand are continuously forced to “reset” by ascending, or else the bass would quickly submerge into the range where the limitations of human hearing would prove insurmountable. The rise in the right hand – though less geographically impressive than the one found in Example 54 – is nevertheless enhanced by traversing not only range, but also harmonies, and in rapid succession. There is truly no telling of what will come next. If one had to guess, perhaps a grand D major entrance would be a plausible candidate to follow the A major sonority of “measure 10”. It is only upon reaching a more conventional Ponte in B♭ major shown in Example 66 (which immediately follows the sublime variant) that a sense of potential relief from the madness that was the previous two pages is finally achieved. Despite faithfully following the “descending thirds” recipe, the harmonic progression in the last few beats of “measure 10” (Example 65; banged-out A major → F major pianissimo) is rather unexpected. Yet it is not random. F major is, of course,

♭VI of A major. Though the effect is not “trance-inducing” at all (in fact, it feels more like a 69 welcome awakening) it still underscores the dark magic of the ♭VI relationship. Is there a better way to regain consciousness from the “time-out-of-time” (Taruskin, 2010c, p. 91) of the introduction than through this uncanny harmonic progression?

Example 65, Hammerklavier, IV, m. 10

Example 66, Hammerklavier, IV, mm. 11-15

The subject of the fugue starts out with a signature leap of a 10th to a trill, then proceeds in a measured descent over the course of three events, each of which occurs a third down

(Example 67). Only the first four bars of the subject are shown, since it is very difficult to tell where the first iteration of the subject ends and the transitional “free-style rap”, which takes us to 70 the second entrance, begins. This subject has a very keen resemblance to the stepwise

Romanesca schema (see Example 49). All the bass scale degrees are present. Missing are, as expected in a one-voice entrance, the parallel thirds and the upper voice of the stepwise

Romanesca prototype. The parallel thirds are supplied later on (Example 68), but the subject is never developed into a full-blown Romanesca. This is not to say that it could not have been!

Similar subjects have indeed been developed into “full” Romanescas in other instances. For example, out of all the fugue subjects in J. S. Bach’s Well-Tempered Clavier, only one subject bears resemblance to the descending thirds pattern of the Hammerklavier fugue: the Fugue in E♭ major from the second book (Example 69). Despite a similar contour, Bach’s descent by thirds happens towards the end of the subject, while Beethoven’s occurs almost right away, and Bach’s descent traverses the “upper voice” of the Stepwise Romanesca (3-2-1-7-6-5), while Beethoven’s traverses the lower voice (1-7-6-5-4-3). As demonstrated in Example 70, Bach fully recognized the “Romanesca potential” of his subject, and used the schema accordingly later in the fugue

(with a minor chromatic alteration). Beethoven must have recognized this potential as well (see opening of the second movement), but chose not to go that route in this circumstance. This should serve as a reminder that just because a potential for a compositional decision exists, it does not mean that the decision is necessarily materialized.

Should Beethoven have made the subject into a Romanesca or two somewhere along the way? Is the omission for better or for worse? The question is asked not in order to be answered, but in order to provide pretext for raising an important issue. The response to the heretical act of questioning Beethoven’s compositional choices will, unfortunately, often be squeamish. But it need not be so. One does not have to play as well as Horowitz in order to criticize his 71 interpretations, nor does one have to be able to compose as well as Beethoven in order to critically evaluate his music23. If we, as listeners, are not allowed to criticize, then we should not be allowed to praise either, since by such reasoning our praise is based on the very same incapacitating “inability” as our criticism, and consequently, is of little value. Yet scrutinizing a composition can actually increase our appreciation of it.

The “Romanesca potential”, even though it is unfulfilled in the Hammerklavier fugue, provides the alert listener with what Leonard Meyer calls “relational richness” (Meyer, 1996, p.

33). “Since richness arises from implied structure as well as from actualized structure, works whose constraints are unknown or incomprehensible necessarily lack this aspect of aesthetic value”, the scholar observes (Meyer, 1996, p. 33). A Galantly erudite listener, therefore, will be very well attuned to the potentialities of an unfulfilled Romanesca (or an unfulfilled Fonte, etc.), because he or she “knows and comprehends” the stylistic constraints. Such a listener will likely have a more rewarding experience than someone who is unaware of such stylistic possibilities, just as a listener who knows his V-I cadences will be “rewarded” by perceiving a V-vi cadence as deceptive (Meyer, 1996, p. 32). Meyer further informs us that “The road actually taken is invariably understood partly in terms of those not taken” (Meyer, 1996, p. 32). It is knowledge of a Galant pattern, the Romanesca, that helps us make sense of the road taken in this fugue. There is intrinsic cognitive and aesthetic value in recognizing that something was implied but ultimately not stated. This is why studying the Galant schemata has meaningful and enriching repercussions not only for the theorist, the historian or the performer, but also for the often forgotten “consumer” of music. We are all “relationally richer” for it.

23 See Meyer, 1996, p. 32, note 66. 72

Example 67, Hammerklavier, IV, fugue subject

Example 68, Hammerklavier, IV, mm. 35-38

Example 69, Johann Sebastian Bach, The Well-Tempered Clavier, Book II, Fuga VII, Subject 73

Example 70, J.S. Bach, The Well-Tempered Clavier, Book II, Fuga VII, mm. 26-28

Encapsulated in the little blue brackets in Example 67 is a fast-paced version of the stepwise Romanesca bass line. It is an instance of “foreshadowing diminution”, which anticipates the scale degrees by which the rest of the fugue subject will be laid out. Looked at from another perspective, the fugue subject is an augmentation of the bracketed bass descent.

This leads to the following loaded question: Is this descending bass the kernel from which the rest of the movement will “organically” grow? The controversial “O” word deserves a brief discussion. Scholars have repeatedly pointed to Romanticism’s influence on the way music is still evaluated and perceived, an influence which is often difficult to detect (it is easier to see such things from a distance, after all). Romantic musical thinking has been thoroughly infused with organicist ideas from its very beginning. In a nutshell, musical “organicism” is the idea that every note in a given composition should have some relation to, or be a direct “outgrowth” of, some sort of an originating “cell” (usually a small motive). In this view, a work’s quality is judged on the efficiency, thoroughness, and creativity with which the composer can exploit a single idea in order to give coherence to a larger structure. While organicist thinking made it far into the 20th century (in some ways it is still very much with us), signs of an awakening from our collective Romantic dream of the past 200 years have finally begun to show. However, this self- 74 conscious awakening is not without unnecessary side effects and backlashes. Currently, in an age when detached, even cynical “post-modern” irony is fashionable, Romantic constructs such as

“organicism” or “organicist model” are often shunned, segregated by “scare quotes”, or derided as silly, useless clichés.

Though it can lead to significant pitfalls, “organicist” thinking nonetheless should not be entirely ridiculed into oblivion. Just as viewing, say, a Mozart sonata through the lens of Galant patterns can shed light on the way it was composed, so can an “organicist” study of a Romantic work. It is only when we summarily dismiss a piece of music because of its non-conformance to organicist standards, when we blindly disregard the fact that composers’ choices are not inevitable (or, for that matter, necessarily optimal)24, or when we allow organicist ideas to tacitly promote musical and cultural Germano-centrism (or any other kind of -centrism), that problems arise. Used with caution (as most things ought to be used), the notion of motivic “organicism” has legitimate room for existence within the eclectic field of musical analysis.

To go back to the question posed earlier about whether the stepwise Romanesca bass can be considered the “seed” from which the rest of the fugue develops; there are several things to contemplate. Somewhat paradoxically, a pre-Romantic notion of an austere, brainy, learned fugue jibes very well with the organicist model, because the fugue literally “grows out” of its subject. After all, one of the defining features of a fugue subject is the fact that it is repeated and developed throughout the piece. If the subject undergoes various metamorphoses, as it does in the Hammerklavier fugue, then the organicist model seems to fit all the better. In fact, the

24 There would be no debate about the A♯ vs A♮ in mm. 220-227 of the Allegro if one of the solutions were unequivocally “better”! 75

Romanesca bass is indeed connected to what is the most likely candidate for the “kernel” of the entire Hammerklavier Sonata, namely the interval of the descending third. In his book The

Classical Style, Charles Rosen provides a very detailed account of the way Beethoven used descending thirds on the micro and the macro levels throughout Op. 106, though he favors a much more “classical” outlook on Beethoven than is offered in the present study (Rosen, 1997, pp. 409-434). While enthusiasts of musical botany can rightly be delighted in the ways that

Beethoven proliferates descending thirds throughout his sonata, the fact that a Galant pattern, the

Romanesca, seems to “condone” Beethoven’s romantically-tilted preoccupation with a single interval is yet another way in which the old and the new are simultaneously present in his late style.

Returning to the subject of Galant patterns, the first occurrence of a recognizable Galant schema in the Hammerklavier fugue proper occurs in measures 46-47 (Example 71). This is a chromatically altered Fonte (compare to Example 20).

Example 71, Hammerklavier, IV, mm. 46-47

Shortly after the Fonte, a Monte (Example 72) is heard. The pattern presented in measures

48-52 can be interpreted in two ways. It can be viewed as a Monte Principale, which has a 76 distinct bass motion up a fourth and down a third. Or it can be interpreted as a Chromatic Monte, with a bass motion characterized by a 7-1 scale degree ascent on each local tonic. Things are further complicated by the presence of another Monte in the middle voice. This “compound”

Monte is cleverly constructed out of the first head-motive of the subject, which easily facilitates the schema. The Monte in the bass consists of three events over the course of five bars, which is somewhat irregular. The last event is slightly rhythmically contracted. The function of the Monte in measures 48-52 is transitional. It brings the listener to a brief area of tonal stability in D♭ major (despite the A♭ major key signature in bar 53).

Example 72, Hammerklavier, IV, mm. 48-52 In measures 75-76, what appears to be a much more straightforward version of the Monte schema takes place; however, closer analysis reveals that this pattern is much larger and more camouflaged than is initially apparent. In fact, when considered in its entirety, it becomes clear that this Monte has been distorted to the point where it is barely recognizable. It is disguised by 77 inversions, role-switching between voices, withholding a voice (mm 75-76), and even by extending the temporal span of the schema through repetition of some of the elements (Example

74). Therefore, a simplified hypothetical example may be helpful in clearing things up (Example

73) by presenting more of a “pitch class”-conscious version of this Monte, thus momentarily negating Beethoven’s evasive use of inversions, omissions, and octave displacement. While the harmonic coherence of the Monte seems to disintegrate half-way through the schema (m. 75), the harmonic pattern in this section for the most part closely matches that of a standard Chromatic

Monte. The events of the Monte are marked in both parts of the example for easy comparison.

Example 73, "Monte Reduction" of mm. 69-79 of the Hammerklavier fugue 78

Example 74, Hammerklavier, IV, mm. 69-79

The Fonte which immediately follows the passage in Example 74 is based on the subject of the fugue (Example 75). Though the Fonte is somewhat rhythmically unusual, its pitch structure is fairly straightforward. The function of the pattern is transitional, providing a way to descend from the Monte into a pleasant valley of G♭ major (m. 85, not shown). 79

Example 75, Hammerklavier, IV, mm. 80-82 The listener must wait for approximately 120 measures for the next Galanterie to transpire. This chaotic void is not bereft of any hint of the schemata, but they have been so thoroughly dissolved into the texture that trying to put them back together will not yield a reward proportional to the effort. On a larger structural plane, the idea of going from Galant to non-

Galant then back to Galant has a certain familiar symmetry (see the second movement, for example).

In agreement with the severe character of the fugue, the Galant pattern presented in measures 200-207 is another fairly large Monte (Example 76). This one is a “two-parter”, with an octave displacement and a slight textural change in measure 204, which divides the schema roughly into two halves. The first half of the Monte is of the Principale variety, with a characteristic ascent by fourths in the bass, while the second portion is a Chromatic Monte.

There is a slight diatonic G major adjustment in the bass in measure 203, with an F♯ occurring instead of the expected F♮. The Chromatic Monte is rhythmically displaced, with the 7th scale degree occurring on the downbeat while the resolution to the tonic happens on the weaker second beat. While the chromatic nature of the second half of the schema is readily apparent, there is the 80 possibility of interpreting the entire pattern as a Monte Principale (since the bass maintains the rise by fourths even through the chromatic section).

Example 76, Hammerklavier, IV, mm. 200-207

Two back-to-back Chromatic Fontes occur shortly thereafter (Example 77). The two schemata share the pitch structure despite role-switching between the voices. While at first glance both events of each Fonte seem to be in the major mode (as mentioned earlier, the use of 81 major mode in the first event does not disqualify the schema from being considered a Fonte), there is a telling difference between the “E minor” and the “D major” events, which underscores the notion that the apparent “majorness” of the first events is decorative rather than structurally harmonic. That difference is the G♮ on beat 1 in measures 224 and 226, which clearly signals minor mode despite being changed to G♯ over the course of the last quarter beat (arrows in the example). Compare this to the unequivocal major mode of measures 225 and 227, where F♯ occurs both within beat 1 and beat 3 (circled in the example). Both of these Fontes are slightly cloaked by being placed within a larger downward sequence (not shown).

Example 77, Hammerklavier, IV, mm. 224-227 Just when the fugue seems to be reaching an unsustainable level of intensity, Beethoven breaks the proceedings with a gentle D major section. In this section Beethoven briefly develops a second subject, which he can then pit against the main subject of the fugue, thus adding yet another level of complexity. The D major oasis is earned through a controlled Monte climb 82

(Example 78), followed by a frantic stretto based on the opening jump of the fugue head-motive, and finally capped off with an emphatic “Italian Augmented 6th Chord” cadence (mm. 247-248, not shown). The Monte in this passage is yet again of the venerable Principale persuasion, but the manner in which the head-motive is barely allowed to resolve before being morphed into the next head-motive conveys increasing tension and agitation. Like those before it, this Monte also allows for an alternative chromatic interpretation, albeit through a resolution that is displaced by an octave.

Example 78, Hammerklavier, IV, mm. 239-242 As the end of the piece nears, the music becomes more saturated by the frequency and gymnastics of the subject, the texture in general, and yes, the frequency of Galant schemata.

Example 79 presents a fairly straight-forward Chromatic Monte, accompanied by descending subject-based cascades in the two upper voices. The entropic atmosphere is aided by the fact that 83 the cascades are “carelessly” out of sync with the three-quarters-per-bar pulse, which is carefully preserved in the bass.

Example 79, Hammerklavier, IV, mm. 287-292

Measures 308-327, on the other hand, form a veritable Galantapalooza (Example 80). Here is a brief play-by-play: Chromatic Monte → Fonte → another Chromatic Monte → Prinner →

Fonte over a pedal → two additional Fontes, related to the last one but lacking the grounding force of the pedal. 84

85

Example 80, Hammerklavier, IV, mm. 308-327

Now let us discuss Example 80 in a little more detail. The Chromatic Monte in measures

308-310 ends with a “diatonically adjusted” section. This section does not follow the expected chromatic rise, as is signaled by the whole tone progression of G to A in measure 310, in place of the customary half-step. As Gjerdingen explains, diatonic adjustments were normal in Galant

Montes during the 18th century (Gjerdingen, 2007, pp. 93-95). The local tonic of B♭ major in measure 310 is quickly undercut by a syncopated F♯, signaling the beginning of a Hermaphrodite

Fonte (♭6 scale degree in the second, major event). Another diatonic Monte adjustment takes place in measure 316. Pastorella fans probably spotted a characteristic 3-2-4-3 bass progression

(which would usually be found in the melody) in measures 316-317, but the mellifluous thirds are missing in action. The short Prinner (m. 317) is lacking the third scale degree in the lower voice, but its customary transitional function is unmistakable. As mentioned earlier, a Fonte over a pedal has become somewhat of a habit throughout the entire sonata (see Example 39, Example 86

51, Example 56, and Example 61 for previous specimens). The dominant pedal not only serves to disguise the schema, but also can provide a poignant sense of suspended animation. The two subsequent “spin-off” Fontes (mm. 322-327) largely share the pitch structure of the original

Fonte found in measures 318-321.

Before all is said and done, there are three more instances of the Monte schema that can be identified. The first one in measures 331-332 is rather bizarre, but a closer look at the pattern reveals a chromatic ascent which quickly betrays the presence of a familiar friend, the Chromatic

Monte (Example 81). The “spin-off ascent” marked in the example is clearly inspired by the 7-1 scale degree progression. However, in this case it has been adjusted to outline a diminished 7th chord, which is unequivocally stated in measure 333 (not shown).

Example 81, Hammerklavier, IV, mm. 331-332 The next Monte is another Chromatic one, though it is a bit disguised by the clever interplay between the two voices and a sudden jump to B♭ major in measures 342-343 (Example

82). 87

Example 82, Hammerklavier, IV, mm. 338-343 And finally, for the climactic conclusion of the entire Sonata, another “Compound”

Monte is heard. It could be interpreted either as a Monte Principale (ascending by fourths and falling by thirds) or as a Chromatic Monte, with the characteristic 7-1 scale degree progression

(Example 83). This is a “full diatonic circle” specimen, going from B♭ to B♭, cadencing while traversing every diatonic scale degree of the B♭ major scale. Preference for a Chromatic Monte interpretation can be given on the grounds that the E♭ in measure 397 breaks the rise by fourths, whereas the 7-1 scale degree progression persists until the bitter end. The tonic of almost every

Monte event can be pinpointed only to a note, not a key. The modes (major vs. minor) are objectively undeterminable, until the final B♭ major cadence is reached. The modes can be 88

“subjectively” guessed if the keys are contained to the diatonic B♭ major orbit, in which case the progression would be B♭ major → C minor → D minor → E♭ major → F major → G minor →

B♭ major, but this is a speculative endeavor. Another interesting detail about this occurrence of the Monte schema is the rhythmic misalignment, consisting of the four-quarter-long Monte events paired with the three-quarters-per-bar pulse notated in the score.

Example 83, Hammerklavier, IV, ending The reader has most likely noticed that the Galant schemata represented in the fugue are almost exclusively limited to the Fonte and the Monte. As mentioned previously, earlier 18th century fugues also contained countless occurrences of these two schemata – a fact which is confirmed by reading (or listening) through either book of Bach’s Well-Tempered Clavier. Why the Monte and the Fonte, but not the Meyer, or the Pastorella, or the Fenaroli, or the Quiescenza?

One answer may be the inherent and ongoing need for continuity and flow in fugal writing. The

Monte in particular tends to promote frequent modulations, and it is easy to spin just about any 89 melodic motive into a Monte sequence (try it!). The Fonte, though by default contained to only two events, is also conducive to modulation. On the other hand, most other Galant patterns are tonally stagnant, and are therefore more suitable for deployment in a Galant minuet rather than a fluid, spun-out fugue.

Epilogue and Conclusion Now that this Galant analysis’ proverbial “Catalogue Aria” has been sung, it is time to ponder what all of this means. Over the course of this study I took a very detailed look at the seemingly unlikely presence of very conventional Galant schemata in music that sounds anything but conventional. In true Romantic fashion, many of the schemata Beethoven used in the

Hammerklavier were thoroughly disguised. Others, such as those used in the quasi-Galant second movement, appear to be easily identified. These observations lead to the following concluding thoughts.

Firstly, like any 18th century composer, Beethoven possessed these Galanteries in his cache all along because he learned them as a child. During the waning years of his life these patterns proved handy, and he used them according to his needs. In the raucous first movement of Op. 106, Beethoven relied on the schemata to form a cognitive anchor around which to build his intense, esoteric discourse. In the second movement, the unadorned, easily-spotted schemata fit very well with the cheery, happy-go-lucky, and witty mood of the quirky minuet-style piece.

In the tragic, romantically-tinged slow movement, Beethoven used a “suspended animation”

Fonte which conveyed a feeling of poignant nostalgia and a Quiescenza which reaffirmed the transcendent F♯ major conclusion. And finally, in the last movement, he deployed countless

Montes and Fontes in the fugue, which facilitated frequent modulations and a texture of 90 perpetual motion. Far from being abstract or detached, the implementation of these patterns is therefore very closely tied to the context of the music.

Secondly, the presence of Galant schemata in Beethoven’s late style was an indicator of the extent to which Romantic composers relied on convention, even though conventionality is fundamentally incongruous with Romantic ideology25. Beethoven, due to his precarious position on the cusp between two centuries, is one of the few composers in music history to be “bisected” into two (arbitrary) “eras”: the Classic and the Romantic. The division was a bit messy, and frequent questions arise as to which category he belongs to. As mentioned earlier, Richard

Taruskin questions the very premise of such enquiries, and rightly so (Taruskin, 2010c, p. XXII).

Beethoven could hardly “un-know” the Galant schemata he learned during his early years, yet the Romanticism of his later music is undeniable. Though he learned the Galant patterns from those before him, he directly embodied some of the earliest iterations of Romanticism in music.

That is to say, Beethoven’s knowledge of Galant patterns did not get in the way of his Romantic impulses, but were the very means by which he facilitated their manifestation.

Lastly, let us address the perennial question of “composer’s intent”. Did Beethoven consciously know that he was using Galant schemata in his later music? The short answer, alas, has to be “we cannot really know”. The long answer would have to start with the simple premise that the use of convention does not necessarily have to be self-conscious. In fact, that is one of the neat things about convention: it saves a lot of thought. If every Jazz musician sweated over every transition from one part of a song to another, there would be a lot fewer Jazz musicians.

25 See Leonard Meyer’s Style and Music for a detailed discussion of Romantic ideology and the apparent contradiction of relying on conventions. 91

Fortunately, the “Turnaround” schema (ii-V-I cadence) comes in handy to solve most problems of transition for jazzers. The Prinner is the 18th century version of such a handy tool! 26 It would not be surprising if some Galant composers used the patterns subconsciously (that is, not self- consciously), since their tireless training and relentless demand for output made writing music almost like walking or breathing for them (the overbearing frequency with which 18th century composers were required to practice their craft makes this analogy less inappropriate than it may seem at first). Of course, Beethoven did not read Gjerdingen’s Music in the Galant Style, so he could not have known that he used a “Quiescenza” (Gjerdingen’s term) at the end of the slow movement of the Hammerklavier. Beethoven was reaffirming a tonic, and from his childhood he surely remembered a convenient way of accomplishing that via a Galant schema that was so frequently used in the 18th century that it deserves an ex post facto term. It should also be noted that unlike his earlier Galant counterparts, Beethoven could afford to write “tortured masterworks for posterity” (to borrow Gjerdingen’s phrase), meaning that he could actually afford to sweat a lot more over his compositional decisions than his predecessors. On the one hand, the diligence with which he disguised some of the conventional schemata ought to serve as tacit proof of his awareness. On the other hand, he could initially have been entirely unaware of a pattern at the time of committing it to paper, but later he could have glanced at his score thinking

“That sounds familiar!” For instance, take the “Folia fragment” from Example 32. Whether he thought to himself, “I should use an age-old progression from the Folia ground bass”, or he used it without giving it much thought, has no bearing on the fact that… well, he used it. By the same token, whether he knew that he facilitated a sense of rising with a Monte, or a nostalgic detour with a Fonte (Gjerdingen, 2007, pp. 69-70), or transcendent affirmation with a Quiescenza, or a

26 Gjerdingen discusses the importance of schematic constructs in improvisatory music (2007, p. 371). 92 smooth transition with a Prinner, is perhaps not the most important point of interest. We cannot really know how conscious he was about using the schemata learned during his developmental years. Instead, it is much more fruitful to focus on the intricacies such as functional details, the deviations from norms, and the sheer ingenuity with which Beethoven used such seemingly simple, “outdated” schemata in such a complex and self-consciously esoteric work as the monumental Hammerklavier sonata.

As foreseen in the introduction, this study can hardly claim to be comprehensive in its outlook; nonetheless, an important – and hereto unexamined – aspect of Beethoven’s “late” compositional process is now transparent. In The Classic Style, Charles Rosen states that “To the end of his life [Beethoven] continued to employ and even revive many musical procedures that he had known as a child in the 1770s…” (Rosen, 1997, p. 449). Going beyond the ideas of sonata form and harmony, it is now possible to pinpoint exactly what these procedures were, and how he used them.

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